Regulation and compliance
Regulation and compliance
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Public finance cases represented 3% of the SEC's enforcement actions the past fiscal year.
November 2 -
Next month's event may also give attendees a rare chance to hear about muni issues directly from every commissioner.
November 1 -
Three areas are new additions to the work plan of the Tax Exempt and Government Entities Business Operating Division, IRS officials said.
October 31 -
FINRA found, and the SEC upheld, muni and other rule that violations Thaddeus North failed to prevent as chief compliance officer.
October 31 -
The Treasury Department Inspector General for Tax Administration plans to audit the IRS' use of a much-feared enforcement tool under which it can impose penalties for the misconduct of municipal bond transaction participants such as underwriters, lawyers, municipal advisors or their firms.
October 31 -
The defense team accused the SEC of a "gross abuse of power."
October 30 -
The pilot program began in May, but was not officially announced by the IRS until last week.
October 29 -
The first meeting for several new board members included discussions with other regulators and groups, the MSRB said Monday.
October 29 -
Statutes of limitation will be the main obstacle, observers say.
October 26 -
City-county council of Marion County and Indianapolis approved Mayor Joe Hogsett's second straight structurally balanced budget on Oct. 15.
October 26 -
The number of MSRB-registered dealers has fallen by almost one-third since 2009 and FINRA and the MSRB have some concerns about it.
October 26 -
The municipal securities market is slowly looking more like the stock market.
October 25 -
While S&P, Moody's and Fitch still provide ratings on about 92% of municipal bonds, market participants say they don’t rely on the rating agencies as they once did. Part 2 of The Bond Buyer’s series on the decade after the financial crisis.
October 23 -
Moody's Investors Service said Palmetto Health's integration with Greenville Health may result in a rating upgrade for Palmetto and a downgrade for Greenville.
October 23 -
A muni advisor facing an enforcement action could use a Supreme Court decision on gambling as a defense, a bond lawyer says.
October 22 -
California and New York City are showing us the path forward, as they often do, in the face of the new limits on the federal deduction for state and local taxes.
October 22 -
The impact of the 2008 crisis led Congress and the MSRB to reshape many of the ways business is done in the municipal bond market. Part 1 of The Bond Buyer's series on the decade after the financial crisis.
October 22 -
What began as trouble in the housing and mortgage markets shook the whole world in 2008, including a municipal bond industry that had to learn to live without bond insurance, auction-rate debt and some big investment banks.
October 22 -
Fitch Ratings said it won't lower its ratings because of JEA's litigation attempting to shed a power purchase agreement with Georgia's MEAG.
October 18 -
Regulators already have a template around which to build an exemption from Volcker for tender option bonds, wrote SIFMA's Michael Decker.
October 18

















